Compliance Management System

  • A robust enabling tool for compliance management facilitating
  • Compliance self assessments with requisite review and approval mechanism
  • Automated reminders and escalation mechanism for overdue non compliance and other discrepancies
  • Tracking evidences of compliance for review, approval and assurance
  • Capturing and tracking show cause notices from various regulatory bodies
  • A robust MIS for enhanced monitoring of compliance / non compliance
  • Appropriate access to owners for their respective compliance areas
  • A comprehensive central data warehouse to preserve history and relevant documents

Key Features

  • Acts as a repository of applicable compliance and corresponding ownerships across the organization.
  • Ability to track status of ‘show cause’ notices received under various acts including related financial exposures, if any.
  • Pro-active escalation of compliance through the automated alert feature thereby reducing the possibility of non-compliance.
  • Automated workflow to enable ‘online’ compliance self assessments.
  • Option to attach the proof of compliance to facilitate enhanced monitoring.
  • Review and assess compliance status across the organization using the dashboards, trends and MIS reports features.
  • Restricted access based on compliance ownerships.
The above can be accomplished by implementing a ‘web based compliance management tool’ for a pro-active compliance management process, timely escalation of compliance, review and assessment mechanism so as to facilitate reduction in possibility and frequency of non-compliance.
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